E-1Report - Redacted
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4 7. EMPLOYEE COMPLIANCE 5 E1's Staff Internal Guidelines relating to the implementation of the Code are provided as Attachment F.[12](#page-8-3) 6 7 - 8 E1 employees complete annual training on the Code in accordance with subsection 9.1 (...
AI summary EfficiencyOne (E1) ensures employee compliance with its Affiliate Code of Conduct through annual training, certifications, and online availability of the Code. All employees completed training in 2024, and certifications were completed by those involved in Affiliate activities. The Code is publicly accessible on E1's website.
APPOINTMENT OF COMPLIANCE OFFICER E1 is required under the Code to appoint a member of the Executive Leadership Team as Compliance Officer. The Compliance Officer is the Director, Finance and Regulatory Affairs. The Compliance Officer's re...
AI summary EfficiencyOne (E1) is required to appoint a Compliance Officer from its Executive Leadership Team to ensure adherence to the Code. The Compliance Officer's responsibilities include monitoring compliance, preparing reports, and handling disputes and inquiries.
EXPECTATIONS OF EMPLOYEES In compliance with the Code, E1 staff must: - a) Track hours for all Affiliate activities accurately and record on a timely basis; - b) Only work on Affiliate activities that have their manager's approval; - c) Co...
AI summary This section outlines the expectations for E1 staff in compliance with the Code, including accurate time tracking, manager approval for Affiliate activities, confidentiality of customer information, and participation in annual training.
EMPLOYEE EDUCATION AND COMPLIANCE Employees must comply with the Code at all times. The Staff Internal Guidelines help apply the Code and operationalize it. Staff are expected to familiarize themselves with the Code. All staff must partici...
AI summary The document outlines requirements for employee education and compliance with the Code of Conduct, including annual training, new employee orientation, and communication of changes via email. Employees are expected to familiarize themselves with the Code and seek guidance from the Compliance Officer if needed.
ANNUAL COMPLIANCE REPORTING E1 has an obligation to file an Annual Compliance Report with the UARB. The report includes all Affiliate transactions and is subject to an external audit. E1 may conduct internal audits as well. Both audits, wh...
AI summary EfficiencyOne (E1) is required to file an Annual Compliance Report with the Nova Scotia Utility and Review Board (UARB), which includes all Affiliate transactions and is subject to external audit. Internal audits may also be conducted by E1 to ensure compliance with the Code.